DFX Intelligence

M•••••• W•••• M••••••••: advisor on the ria / wealth management graph | DFX Data Factory

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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)26 years in industry

M•••••• W•••• M••••••••

Advisor at L•• F•••••••• L••

CAPE CORAL, FL

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Search this name across graphsid dfx:ria:4a94c56b-941d-70bd-6590-8f7817507db7

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 4:12 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 19, 2003 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: L•• F•••••••• L••
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not public••• Locked
Industry start: Jun 9, 2000earliest registration or exam on IAPD
Years in industry: 26derivedfrom the industry start date
Years at current firm: 4derivedfrom the current registration's begin date
Prior firms: 5

Registration history

••• Locked

Firm	Class	Began	Ended	Current	Branch	Basis
L•• F•••••••• L••	Bd affiliated wealth	May 19, 2022	n/a	yes	CAPE CORAL, FL\|CAPE CORAL, FL	Current employment
C••• B•••••••• S•••••••• I•••	Former SEC adviser	Dec 17, 2018	May 24, 2022	no	PORT CHARLOTTE, FL\|North Port, FL\|Wauchula, FL\|Wauchula, FL\|Punta Gorda, FL\|WAVERLY, IA

Moves

••• Locked

From	To	Left	Joined	Gap, days	Kind	Move type
C••• B•••••••• S•••••••• I•••	L•• F•••••••• L••	May 24, 2022	May 19, 2022	-5	Bulk transfer	Ibd to RIA
L••••••••• W••••• A•••••••	C••• B•••••••• S•••••••• I•••	Dec 31, 2016	Dec 17, 2018

Relationships

Registered with (6)

→ L•• F•••••••• L••Registered adviserregistration: current employment
May 19, 2022 to presentfactForm ADV
→ C••• B•••••••• S•••••••• I•••Registered adviserregistration: previous registration
Dec 17, 2018 to May 24, 2022factForm ADV
→ L••••••••• W••••• A•••••••Registered adviserregistration: previous registration
Dec 11, 2015 to Dec 31, 2016factForm ADV
→ S•••• M•••• C•••••••• L••Registered adviser

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:4a94c56b-941d-70bd-6590-8f7817507db7
First observed: May 19, 2003
Last observed: Sep 14, 2026 8 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.